Press Releases

Independent broker-dealers (IBDs) today face perhaps the most challenging business landscape ever. This environment is making it harder for many firms to remain profitable and competitive. Given the challenges and pressures your firm is facing, you may want to be...

Human capital has become an increasingly vital component of an advisory firm's business success, and we're experiencing an increasingly competitive hiring landscape. This makes it critical to devise strategies for recruiting and retaining top industry talent....

By  Michael P. Scaplen   Advances in technology, going as far back as the development of the telegraph and the first transatlantic wires, which opened global markets, have driven change in the financial services industry.  In addition, rapidly evolving technology,...

Advances in technology, going as far back as the development of the telegraph and the first transatlantic wires, which opened global markets, have driven change in the financial services industry.  In addition, rapidly evolving technology, consumer demand,...

There are more than 30,000 SEC and State-registered investment advisors (RIAs) in the United States. While the populations they serve are diverse, advisors across the industry have noticed a similar shift in what clients need and expect from RIAs. More so than in...

Independent Broker-Dealers (IBDs) and Registered Investment Advisors (RIAs) are dealing with a dramatically altered fee and technology landscape. Both scenarios have placed an added emphasis on partnership relationships especially those that support back office and...

The business landscape for independent broker-dealers continues to be challenging, and it’s helpful to understand some of the headwinds that firms will be facing in 2022 and beyond. Knowing and understanding these issues can help broker-dealers plan ahead, be...